Fiduciary standard

Massachusetts regulators accuse the firm of running afoul of the impartial conduct standard by holding sales contests.

The good, the bad and the downright inexplicable in the suggested changes.

What do they bring to the table? Lobbying clout, alternative fee structures and technical expertise are just part of the equation.

Advisors at Fidelity, Schwab and other large discount brokerage firms make more money if they steer clients toward more expensive products.

The industry group is seeking restrictions on how brokers can describe their services and responsibilities.

While the ranks of women who hold the certification surged, they still make up only 23% of the pool.

Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.

The online tool, created by the advocacy organization and state regulators, suggests tough questions for the hiring process.

Special interest groups may weaken the Department of Labor’s best interest standard. Here’s why that’s bad for financial planners and their clients, according to one expert.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.

"Maybe commissions aren’t so evil after all?"

Technology has transformed the industry, but personal relationships are still crucial.

One expert suggests the SEC could develop a new system to evaluate firms' conflicts, assigning scores similar to those from Consumer Reports.

Some advisors are holding out in case the technology changes.

In the wake of the DoL fiduciary rule, documenting client profiles and recommendations boosts compliance.

Survey shows advisors accept fiduciary mindset but do not see major impact on product choices yet.

Financial advisors can still be held liable for violating impartial conduct standards even though the fiduciary rule has been delayed until 2019.

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Secretary Alexander Acosta told lawmakers that the department will pursue actions against advisors and firms for egregious best-interest advice violations.